SEC Form 4 · accession 0001209191-15-079367
QLIK TECHNOLOGIES INC · QLIK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Deighton
Officer — CTO and SVP, Products
Period of report
Nov 7, 2015
Accepted (ET)
Nov 10, 2015 · 5:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001305294
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 7, 2015 | M | 775 | — | A | 7,133 | D | |
| Common Stock | Nov 9, 2015 | S | 376 | $32.1141 | D | 6,757 | D | |
| Common StockF4 | Nov 9, 2015 | S | 350 | $32.8671 | D | 6,407 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F5 | — | Nov 7, 2015 | M | 775 | D | — | — | Common Stock | 775 | 0 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
- F2Shares were sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs.
- F3The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2014, as amended.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.73 to $32.97, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
- F5The RSUs vest in four equal annual installments beginning November 7, 2012, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting. The RSUs have no expiration date.